SourcingSourcing

SAGEBROADVIEW WEALTH MANAGEMENT, LLC

C34
CRD 126472·SEC 801-100506·FARMINGTON, CT
AUM
$397.2M
$100M-$500M
Est. Revenue
$4.0M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
CRD
126472
SEC file #
801-100506
EIN
—
DBA names
—

Economics

AUM
$397.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$190.0M → $397.2M▲ +109%
Client mix
Individuals High Net Worth101
Individuals Other47

Operations

Employees (total)
8
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
5 advisors → 5 advisors▬ 0%
Primary office
FARMINGTON CT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisersOther Advisory Services
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
sagebroadview.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SAGEBROADVIEW, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
SAGEBROADVIEW, INC.
ANNELLO, CHRISTOPHER, JAMES
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SAGEBROADVIEW.COM
Rdap Domain Creation Date
2013-10-31T18:21:54Z
Rdap Firm Age Years
13
Rdap Firm Age Band
10-20y
Rdap Registrar
Wild West Domains, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
Altruist4
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-31T18:21:54Z
Rdap Domain Last Changed
2025-11-01T11:00:51Z
Rdap Nameservers
Guss.ns.cloudflare.comMolly.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Active
Trust Company Affiliate
No

People (6)

6
ANNELLO, LAWRENCE, JAMES
IAR · Executive Officer · 2.5%
4650103
ANNELLO, CHRISTOPHER, JAMES
IAR · Executive Officer · 2.5%
5998570
PRINCIPE, JOHN, DAVID
IAR · Executive Officer · 2.5%
5802007
Daniel James Lester
IAR
7264333
Karina Isabel Sales Linehan
IAR
6557306
JEFFREY LAWRENCE ANNELLO
IAR
5839129